Old Slip Registered Investment Advisors, Llc
- Regulatory AUM
- $305M
- Discretionary
- $1.0M
- Clients
- 30
- Avg AUM / client
- $10.2M
- Accounts
- 26
- Employees
- 3
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Feb 12, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 11 | $0 | — |
| High net worth individuals | 3 | $0 | — |
| Pension and profit sharing plans | 16 | $305M | 100.0% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Scientific Components 401(k) Plan Scientific Components Corporation | 2024 | |
| Petvet Care Centers Management, Llc Retirement Savings Plan Petvet Care Centers Management, Llc | 2024 |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| James Joseph Lukezic | Managing Member & Chief Compliance Officer | May 2016 (10y) | 75% or more | |
| Michael Raymond Goold | Registered representative | Nov 2023 (3y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Scientific Components 401(k) Plan | Scientific Components Corporation | 595 | $66.0M | 01/01/2024 |
| Petvet Care Centers Management, Llc Retirement Savings Plan | Petvet Care Centers Management, Llc | 9,731 | $154M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/12/2026 | 1.03 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $35.0M (11% of AUM) Feb 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Feb 12, 2026.
View current Form ADV (SEC/IAPD) ↗